Privacy Policy

GINVS12141

Privacy Notice 

Global Investor Services, LC (“GIS”) recognizes the importance of protecting your privacy. We disclose your non-public personal information only to companies selected by us to provide clearing, execution and related services.

•We only disclose information that is essential to providing these services.

•We do not disclose any non-public personal information to any other third party without your permission except as permitted by law.

•We do not sell your personal information to anyone.

What categories of information do we collect and disclose? 

1)Information from your application form such as your name, address, email address, birth date, social security number or passport number, incomeand occupation.

2)Transactional information such as trading history and account balances.

3)Information provided by you, your registered representative or investment advisor, such as investment objectives and experience, productpreferences or account suitability.

4)In limited cases, information from consumer reporting agencies. We may disclose all of the information we collect, as described above.

To whom do we disclose personal information? We may disclose non-public personal information to our service providers who assist us in servicing your account. These service providers include Pershing LLC, GIS’S clearing firms. The clearing firm is a registered broker dealer and is subject to the same type of restrictions as we are on disclosing your personal and financial information.

•We do not share any information about former customers. We do not sell your personal information to anyone.

•We may share non-public personal information with our affiliates, Global Investment Advisory Services, HB Asset Management, Puma Capital, LLC or Alpha Capital Management, LLC, if you maintain an account with that entity.

•We may share personal information with non-public governmental or regulatory agencies only if requested or permitted by law.

How do we protect the confidentiality, security and integrity of non-public personal information?

We restrict access to your non-public personal information to our employees who need to know that information to provide service to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard and protect your personal information. We treat all client information confidentially at all times.

How do we allow you to “opt out” of information sharing?

The law allows you to “Opt Out” of certain kinds of information sharing. You may elect to opt out of sharing your non-public personal information with our affiliates, Global Investment Advisory Services, HB Asset Management, Puma Capital, LLC or Alpha Capital Management, LLC, at any time by telling us not to share the information. If you require a change to your personal information, please contact your registered representative to update our records. We will advise you of any change in our privacy policy. In connection with servicing your account, your non-public personal information may be shared among entities named in this notice, their affiliates, and non-affiliates who provide services regarding or relating to your account, including transfer agents or other service companies. Our affiliates and any non-affiliated service providers are required to protect the confidentiality of your information and to use the information only for the purposes for which disclosure to them is made. Service providers restrict access to non-public personal information about you to those employees who need to know that information to provide products and services to you. GIS, our affiliates, and the service providers we use maintain physical, electronic, and procedural safeguards to maintain the security of your non-public personal information. In the event that you close your account or become an inactive customer, we will adhere to the privacy policies and practices as described in the Privacy Policy. If you have any questions after reading this Privacy Policy, please contact us by writing to:

Global Investor Services, LC
777 Brickell Avenue,
Suite 1010 Miami, Fl. 33131

By phone: 305- 982-4632 or 305-373-9000, By fax: 305-373-2946 or By email: giscompliance@gismail.com

SEC Rule 606 (formerly SEC 11Ac1-6) Disclosure of Order Routing Practices

SEC Rule 606 requires all broker-dealers (including introducing firms) that route customer orders in equity and option securities make publicly available quarterly reports that, among other things, identify the venues to which customer orders are routed for execution and also disclose the material aspects of the broker-dealer's relationship with such venues. In compliance with Rule 606, GIS provides a summary of order routing activity at http://globalinvestorservices.com/disclosures/. Data is also available at the following link: http://www.tta.thomson.com/reports/1-6/gisj/.